Skilled Advocates For Securities Litigation
GJB’s attorneys represent individual and institutional investors in recovering investment funds lost due to criminal activity or negligence. We have been involved in large class action suits and arbitration proceedings on behalf of investor clients. Our attorneys also handle employment actions and other types of litigation in the broker-dealer industry, serving clients throughout the nation.
Our securities litigation and arbitration attorneys have experience with federal and state securities laws, and special expertise in securities arbitrations involving broker-dealers at the NASD, stock exchanges, and American Arbitration Association. We have represented both investors and individual securities brokers against their brokerage firms, and have been successful in helping investors recoup millions of dollars lost to unscrupulous brokers and corporate officials as a result of financial wrongdoing.
Recovering Lost Investment Funds
Our attorneys handle a variety of securities litigation and arbitration cases, including:
- Broker-Dealer Arbitrations: Actions on behalf of customers against stockbrokers, financial planners, and advisors for various violations of statutory and common law, including fraudulent conduct. The firm has particular experience representing non-U.S. customers in Latin America and the Caribbean.
- Privately Held Stockholder Actions: Fraud actions on behalf of purchasers and sellers of stocks, bonds, options, and other securities, representing clients who have suffered losses as a result of misleading statements relating to the financial condition or business operations of the issuer.
- Securities Litigation Class Actions: National securities fraud class actions against companies and their principals, who defrauded institutional investors through the use of false or misleading public statements.
- Broker-Dealer Regulatory Actions: The firm has represented a number of brokers and brokerage firms in litigation, regulatory, and other matters in federal and state courts, as well as before self-regulatory agencies, the Securities and Exchange Commission, and state banking authorities.
- Broker Employment Actions: The firm regularly represents brokers in cases involving employment and defamation issues.
If you would like to speak with a member of our securities practice to discuss legal representation, or have any other question, please contact us at our Miami, Fort Lauderdale or Tampa office. We will respond promptly and arrange for you to speak with a member of the firm with the appropriate experience.
Notable Securities Litigation Engagements
- Served as federal court-appointed receiver for Creative Capital Consortium, LLC and affiliated entities that defrauded investors of over $68 million.
- Represented registered representative in a wrongful termination and U-5 defamation claim, which resulted in an award of $1.8 million in FINRA arbitration against a major broker-dealer.
- Represented bankruptcy trustees and receivers seeking return of millions of dollars in fraudulent transfers arising from various Ponzi schemes.
- Represented individual investors, both domestic and foreign, with claims against their brokerage firms in NASD, NYSE and FINRA arbitrations resulting in millions of dollars of recovery for those clients.
- Represented prominent NFL player in securities fraud suit against broker and agent.
- Represented national airline in securities arbitration against major broker/dealer.
- Represented institutional investors in various national securities fraud class actions to recover money from Enron and WorldCom.
- Represented UBS in enforcing covenants not to compete against former brokers and enforcing promissory notes against former brokers.
- Represented brokers in regulatory actions before the FINRA and SEC.
- Represented brokers and sales assistants with employment issues involving their employers.
- Represented defendants in numerous class action securities fraud suits brought by investors.